Compliance - Control Room Senior Officer - Associate

Job Description

Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

As a Control Room Senior Associate working within the Compliance, Conduct and Operational Risk organization in the San Francisco office, you will join a global team responsible for maintaining the Firm’s information barriers by monitoring and controlling information flows between private- and public-side businesses. You will track global banking projects throughout the transaction lifecycle to ensure appropriate monitoring, apply restrictions in a timely manner, and advise business units on the applicability of restrictions in line with internal policies and procedures.

Job Responsibilities

• Partner with Banking, Sales & Trading, and Asset Management to maintain the Firm’s Watch and Restricted lists.
• Review Research publications for compliance with legal and regulatory requirements.
• Chaperone covered communications between Equity Research and Global Banking to support Research independence and adherence to internal policies.
• Advise front-office teams on permissible interactions with research analysts, including pre-clearing and chaperoning communications as needed.
• Provide guidance on the Firm’s restricted list policy, research restrictions during advisory mandates, and other Control Room policies.
• Deliver training to business areas on Control Room policies and procedures.

Required qualifications, capabilities and skills

• 2+ years of Control Room or related experience.
• Thrives in a fast-paced, high-pressure, team-oriented environment.
• Strong analytical and problem-solving skills, including gathering, synthesizing, and assessing information.
• Ability to build credibility and partner effectively with senior leaders, control functions, and global stakeholders.
• Flexible and collaborative working style across all levels.
• Detail-oriented with strong multitasking, organization, and prioritization skills.
• Excellent written and verbal communication skills.
• Bachelor’s degree required

Preferred qualifications, capabilities and skills

• MBA and/or professional certification preferred.

About Us

JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans

About the Team

Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.

Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.